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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
On May 16, 2022, the Securities and Exchange Commission (the “SEC”) obtained asset freezes and other emergency relief against StraightPath Venture Partners…
Read MoreThe OTC Markets OTCQX offers foreign issuers seeking to go public in the U.S. an appealing alternative to listing on a stock…
Read MoreOn Friday, May 12, 2022, the Securities and Exchange Commission announced that it obtained a final judgment against Canadian resident Frederick L.…
Read MoreOn April 29, 2022, the Securities and Exchange Commission obtained a judgment against Shawn Hackman, who was previously disbarred by the State…
Read MoreOn May 4, 2022, the Securities and Exchange Commission (the “SEC”) filed a complaint alleging Michael Forster engaged in manipulative trading in…
Read MoreOTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) have an initial and ongoing…
Read MoreOn April 27, 2022, the Securities and Exchange Commission charged Sung Kook (Bill) Hwang, the owner of family office Archegos Capital Management,…
Read MoreSection 5 of the Securities Act of 1933, as amended (the “Securities Act”), requires that all offers and sales of securities be…
Read MoreThe Securities and Exchange Commission announced charges against 16 defendants, located in the Bahamas, the British Virgin Islands, Bulgaria, Canada, the…
Read MoreQuotes of securities in the Expert Market are “Unsolicited Only,” which means that trades of securities subject to unsolicited quotation in the Expert…
Read MoreThe Securities and Exchange Commission today announced charges against Anthony Salandra, for his role in a market manipulation scheme in which he…
Read MoreOn March 24, 2022, as an anxious world hoped for positive results from a NATO meeting convened to address the ongoing war…
Read MoreOn March 24th, the Financial Industry Regulatory Authority (“FINRA”) announced that a FINRA extended hearing panel has expelled Salt Lake City-based broker-dealer…
Read MoreOn March 15, 2022, the Securities and Exchange Commission (the “SEC”) announced charges against five individuals for allegedly operating a call center…
Read MoreOn March 1, 2022, the Securities and Exchange Commission (the “SEC”) announced fraud charges against San Diego-based attorney Andrew T.E. Coldicutt for…
Read MoreOn February 23, 2022, the United States District Court for the Eastern District of New York entered a final judgment against Martin…
Read MoreThe Securities and Exchange Commission charged Michael M. Beck for using his Twitter handle, @BigMoneyMike6, to deceive investors into buying penny stocks…
Read MoreThe Securities and Exchange Commission voted on Wednesday to propose rule changes to reduce risks in the clearance and settlement of securities,…
Read MoreOn January 21, 2022, Judge Beth Bloom of the United States District Court for the Southern District of Florida granted the SEC’s…
Read MoreIn mid-January 2022, British tabloid the Daily Mail published a long story about U.S. House Speaker Nancy Pelosi’s son Paul Jr, in…
Read MoreOn January 19, 2022, the Securities and Exchange Commission charged securities fraud recidivist Phillip W. Offill, Jr. and Justin W. Herman (a former…
Read MoreOn January 7, 2022, Christopher R. Esposito, 55, of Everett, was charged and has agreed to plead guilty to one count of…
Read MoreJust before the end of 2021, Elad L. Roisman, one of the SEC’s five Commissioners, announced his resignation, effective at the end…
Read MoreOn December 20, 2021, the Securities and Exchange Commission announced fraud charges against five Russian nationals for engaging in a multi-year scheme…
Read MoreOn Thursday, December 9th, three more Canadian citizens were charged by the Securities and Exchange Commission as part of what has been…
Read MoreOn November 9, 2021, the Securities and Exchange Commission charged four individuals and their companies, including a securities fraud recidivist, with scheming…
Read MoreThough nearly two months have passed since compliance with the Securities and Exchange Commission’s amended Rule 15c2-11 became mandatory on September 28,…
Read MoreOver the past few years, we’ve written frequently about so-called “toxic lenders” engaged in unregistered dealer activity and the toll their loans…
Read MoreOn Tuesday, October 26th, Steven Gallagher 50, of Maumee, Ohio, was arrested and charged with securities fraud, wire fraud, and market manipulation.…
Read MoreSince the fall of 2019, we’ve written a number of times about the Securities and Exchange Commission’s amendments to Rule 15c2-11, which,…
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